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Lathen Hardy
Lathen Hardy III
CRD#: 6417955
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 8401 N Central Expy
Suite 110
Dallas, TX 75225-4403
Registration History
201520162017201820192020202120222023202420252026IACHARLES SCHWAB & CO., INC. (CRD# 5393)2018 - Present (6 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2017 - Present (7 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2015 - 2017 (1 year)BPFS INVESTMENTS INC. (CRD# 10111)2015 - 2015 (<1 year)
License(s)

State Registrations

B
Alabama 9/19/2023

B
North Carolina 6/25/2024

B
Arizona 1/2/2019

B
Oklahoma 9/19/2023

B
Arkansas 9/19/2023

B
Oregon 1/2/2019

B
California 7/28/2018

IA
Oregon 6/7/2019

B
Colorado 1/2/2019

B
Pennsylvania 9/19/2023

B
Florida 9/19/2023

B
South Carolina 6/25/2024

B
Maine 9/19/2023

B
Texas 1/2/2019

B
Maryland 9/19/2023

IA
Texas 8/31/2023

B
New Mexico 9/19/2023

B
Vermont 9/19/2023

B
New York 7/28/2018

B
West Virginia 3/26/2024

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
8401 N Central Expy Suite 110, Dallas, TX 75225-4403
Registered with this firm since 10/30/2018

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
8401 N Central Expy Suite 110, Dallas, TX 75225-4403
Registered with this firm since 12/21/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
B
12/01/2015 - 11/08/2017 PRINCIPAL SECURITIES, INC. (CRD#:1137) Indianapolis, IN
B
05/07/2015 - 12/02/2015 PFS INVESTMENTS INC. (CRD#:10111) INDIANAPOLIS, IN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.